FP&A Manager driving financial insight at MPB. Overseeing budget delivery and forecasting processes in a dynamic finance environment for a global platform.
About the role
- File Checker responsible for maintaining compliance in financial planning at a wealth management firm. Engaging with stakeholders to ensure high-quality standards and risk mitigation.
Responsibilities
- This role sits within Advice/ T&C and is responsible for checking client and case files to ensure they meet internal standards, regulatory requirements and firm policies.
- You will carry out sample checks, validate documentation, identify gaps or issues, and work with colleagues to ensure corrective actions are completed.
- You will play a practical role in maintaining file quality and regulatory assurance.
- Typical responsibilities include planning and performing file checks, reporting findings, and helping drive timely remediation.
- Carry out regular sample checking of client files and case documentation against defined checklists and regulatory requirements.
- Conduct suitability assessments across a range of different products (Pensions, Investments, High Risk products).
- Identify documentation gaps, process deviations or compliance issues and record findings accurately.
- Produce clear, concise reports on findings, providing clear feedback to Financial Planners, and collaborating with the T&C team to highlight training needs.
- Involvement in ad-hoc project work or process improvements.
Requirements
- Previous experience as a File Checker or file reviewing / compliance monitoring role within a financial planning or wealth management firm
- Strong understanding of UK financial planning regulations and FCA requirements
- Knowledge across pensions, investments, and protection advice
- Excellent attention to detail and analytical skills
- Strong communication skills with the ability to provide clear and constructive feedback
- Diploma qualified (or Chartered status would be advantageous)
- Hold a Pension Transfer Advice qualification or working towards Equity Release and Long Term Care exams are desirable.
Benefits
- Competitive Pension Scheme - we contribute 6%, you 3%
- 26 days holiday plus bank holidays
- Private Medical Insurance
- Life Assurance (4x)
- Group Income Protection
- Work From Anywhere policy
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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